CROSSMARK GLOBAL INVESTMENTS, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	MARCH
Legal Location	Delaware, United States

Employees

Total Number of Employees	45
Investment Advisory/Research	11
Registered Broker-Dealer Representatives	24
Registered State Investment Advisers	14
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	5

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	4,419	$5.6B
Non-Discretionary	1,194	$204.5M
Total	5,613	$5.8B

Clients

Type	Number	RAUM
Individuals	4,066	$1.5B
HNW Individuals	31	$296.1M
Banking or thrift institutions	0	$0
Investment companies	11	$1.5B
Business development companies	0	$0
Pooled investment vehicles	0	$0
Pension and profit sharing plans	37	$346.3M
Charitable organizations	216	$1.5B
State or municipal gov entities	5	$12.4M
Other investment advisers	0	$0
Insurance companies	4	$64.0M
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	60	$368.0M
Other	1,194	$204.5M

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients
Compensation	% of AUM

Wrap Fee Program

Offers Wrap Fee Program	Yes

Acting As	RAUM
Sponsor	0
Portfolio Manager	1.7B
Both for Same	0

Portfolio Manager to Program	Sponsor
MANAGED ACCOUNT SELECT	CHARLES SCHWAB & CO., INC.
MANAGED ACCOUNT PROGRAM	RBC CAPITAL MARKETS, LLC
MANAGER SELECT	MORGAN STANLEY
OUTSIDE MONEY MANAGER	RAYMOND JAMES & ASSOCIATES, INC.
STRATEGIC ASSET REVIEW	OPPENHEIMER & CO. INC.
WELLS FARGO PRIVATE ADVISOR NETWORK	WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
MANAGER ACESS SELECT	LPL FINANCIAL LLC
WELLS FARGO PERSONALIZED UMA MULTI-STRATEGY	WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
ENVESTNET FOLIO DYNAMIX ADVISORY PROGRAM	ENVESTNET PORTFOLIO SOLUTIONS, INC.
CHOICE SMA	KOVACK ADVISORS, INC.
ENVESTNET UNIFIED MANAGED ACCOUNT	ENVESTNET PORTFOLIO SOLUTIONS, INC.
ENVESTNET VISTA PLATFORM	AMERIPRISE FINANCIAL SERVICES, LLC
ADVISORY PROGRAM	JANNEY MONTGOMERY SCOTT LLC
STIFEL OPPORTUNITY PROGRAM	STIFEL, NICOLAUS & COMPANY, INCORPORATED
ORION PORTFOLIO SOLUTIONS	CHARLES SCHWAB & CO., INC.
MANAGED ACCOUNT MARKETPLACE	CHARLES SCHWAB & CO., INC.
ENVESTNET PREFERRED PORTFOLIO SERVICES	ENVESTNET PORTFOLIO SOLUTIONS, INC.
ADVISORY CHOICE	ARKADIOS CAPITAL
FIDELITY WEALTHSCAPE SEPARATE ACCOUNT NETWORK	NATIONAL FINANCIAL SERVICES LLC
ORION PORTFOLIO SOLUTIONS	NATIONAL FINANCIAL SERVICES LLC
LOCKWOOD MAC PROGRAM	BNY MELLON ADVISORS, INC.
MANAGER SELECT	LPL FINANCIAL LLC
ENVESTNET CAPITAL ASSETS PROGRAM	ENVESTNET PORTFOLIO SOLUTIONS, INC.
SECURITIES AMERICA	SECURITIES AMERICA, INC.
STIFEL CONNECT PROGRAM	STIFEL, NICOLAUS & COMPANY, INCORPORATED
ORION PORTFOLIO SOLUTIONS	TD AMERITRADE, INC.
SEPARATE ACCOUNT EXCHANGE	TD AMERITRADE, INC.
ENVESTNET FIDELITY MANAGED ACCOUNT XCHANGE	ENVESTNET PORTFOLIO SOLUTIONS, INC.
MANAGED ACCOUNT CONSULTING	D.A. DAVIDSON & CO.
UBS MANAGED ACCOUNTS CONSULTING	UBS SECURITIES LLC
ENVESTNET WMP SMA	ENVESTNET PORTFOLIO SOLUTIONS, INC.
ENVESTNET WMP UMA	ENVESTNET PORTFOLIO SOLUTIONS, INC.
WELLS FARGO PERSONALIZED UMA SINGLE-STRATEGY	WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
MID-ATLANTIC PORTFOLIO SOLUTIONS	MID-ATLANTIC SECURITIES, INC.
DUAL CONTRACT PLATFORM	ROBERT W. BAIRD & CO. INCORPORATED
ENVESTNET SMA NETWORK PROGRAM	ENVESTNET PORTFOLIO SOLUTIONS, INC.
SMARTX	NATIONAL FINANCIAL SERVICES LLC

Identifiers

SEC RIA File Number	801-17695
SEC ERA File Number	801-17695
SEC CIK Numbers	None
SEC CRD Numbers	113360
Legal Entity Identifier	None

Principal Office

15375 MEMORIAL DRIVE
SUITE 200
HOUSTON
TX
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic